Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2018/01/11?limit=200&registers=between&mode=atom 2024-12-22T12:55:36-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00387.html Notice - Adjustments to Civil Monetary Penalty Amounts 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00387 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00387.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00352.html Rule - Staff Accounting Bulletin No. 117 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00352 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00352.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00314.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC and NYSE National, Inc. 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00314 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00314.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00309.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00309.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00308.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Fees and Rebates Set Forth in Section I of the Exchanges Schedule of Fees 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00308.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00307.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Sprott Physical Gold and Silver Trust Under NYSE Arca Rule 8.201-E 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00307.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00306.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to Mid-Point Liquidity Orders and the MTS Modifier and Rule 7.36E To Add a Definition of “Aggressing Order” 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00306 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00306.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00305.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Non-Transaction Fees in the Exchange's Schedule of Fees 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00305 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00305.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00304.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 1059 To Make Permanent a Program That Allows Cabinet Trade Transactions To Take Place at a Price Below $1 Per Option Contract 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00304 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00304.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00303.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00303 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00303.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00299.html Rule - Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00299 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00299.pdf